(a) Clock Synchronization
(1) Each Industry Member shall synchronize its Business Clocks, other than such Business Clocks used solely for Manual Order Events or used solely for the time of allocation on Allocation Reports, at a minimum to within a fifty (50) millisecond tolerance of the time maintained by the atomic clock of the National Institute of Standards and Technology ("NIST
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to require firms to report time fields in trade reports submitted to an equity trade reporting facility (or “FINRA Facility”) using the same timestamp granularity that they use to report to the consolidated audit trail (“CAT”), in accordance
Summary
This Notice reminds members of the Securities and Exchange Commission’s (SEC’s) adoption of a best interest standard of conduct for broker-dealers and a relationship summary (Form CRS) delivery obligation, and provides an SEC email address where members may submit questions about the new requirements. As more fully described below, the SEC encourages firms to actively engage with SEC
Inverse and leveraged funds are an important part of the market as it allows retail investors like myself to take part in products that are normally not available to us. The ability to hedge against certain products, market segments, or scenarios should not be limited by a regulatory body. I agree the complexity of these funds and their risks should be well understood by anyone who invests in
Im a normal citizen with a professional job and consider myself an average but informed investor. My investment plan is focused on long term gains and uses leveraged funds to do that. I follow a systematic investment program that uses safety switches and signals to reduce exposure to leveraged funds while also maximizing the benefit leveraged funds provide in the long term.
Im more than
Testing And Continuing Education Scheduling Procedures Revised
To provide a better level of service to members, NASD Regulation, Inc., and the Sylvan Technology Center Network (Sylvan) have agreed that certain appointment scheduling activities regarding testing and continuing education sessions will become the direct responsibility of NASD RegulationSM. Effective June 1, 1998, NASD Regulation
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I should not be forced to go through a specific test to be able to trade any securities I want. As an individual I am capable of making my own decisions. Cryptocurrency strategy is important for my long term financial planning
I oppose what is being planned to limit my ability to invest MY money public investments. As we all know there is a level of risk in making any investment and that is a risk I as an individual make a choice on - Not you. Leveraged and inverse funds are important part of my investment portfolio limiting my access to these investment vehicles appears to be discriminatory and tyrannical actions.
Hi,
As an investor, I own a few leveraged ETFs which are critical part of my overall asset portfolio. I strongly oppose any plan to restrict access to these ETFS by any means because investments in these leveraged ETFs are my rights and setting any restrictions may hurt my wealth. I fully understand the risk and rewards of the leveraged ETFs and hence make my own investment and trading decisions
Comments:Given that it's been banks and wall street that has crashed the stock market numerous times with their wild gambling and poor planning, even though they're supposedly sophisticated traders with lovely certificates attesting to the fact, perhaps you should tighten regulations on the financial giants and leaches in the system before you go after the small people. Have
